A••••••• F•••••••• N•••••• A••••••• S•••••••• L••

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$46.9M••• Locked

Discretionary RAUM

$46.9M

Private client RAUM

$46.9Mderived••• Locked

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

4

• Occurred

  Mar 30, 2020
  Regulatory AUM changed

  A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• reported RAUM $46.9M, down 75% from $185.0M (2020-01-31 to 2020-03-30)

  Form ADVobserved 7 days ago
  $-138M
• Occurred

  Jan 13, 2020
  Control person joined

  C••••••••• P•••• (Chief Compliance Officer) appeared on Schedule A of A••••••• F•••••••• N•••••• A••••••• S•••••••• L••

  Form ADVobserved 7 days ago
• Occurred

  Jan 13, 2020
  Control person left

  Lee Sandra Stepp (Chief Compliance Officer) no longer on Schedule A of A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• (listed 2019-11-11, absent 2020-01-13)

  Form ADVobserved 7 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3dae3197-3b86-f40e-54d0-b26db92f1ef4

First observed

Jan 6, 2012

Last observed

Apr 6, 2020 78 months ago

Source families

Federal regulator filings

3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.